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CRD 322607
GREENWOOD VILLAGE, CO
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| DANIEL AARON NEWMAN | Certified Financial Planner|Chartered Financial Consultant | GREENWOOD VILLAGE, CO | 3 | 19 | 3 | no |
| Nathaniel Demetrious McHarg | n/a | GREENWOOD VILLAGE, CO | 3 | 13 | 1 | no |
| Mark James Asaro | Chartered Financial Analyst | South Jordan, UT | GREENWOOD VILLAGE, CO | 3 | 25 | 1 | no |
| CHRISTOPHER ENDRE RHYME | n/a | GREENWOOD VILLAGE, CO | 3 | 11 | 1 | no |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| NEWMAN, DANIEL, AARON | CHIEF COMPLIANCE OFFICER | Na | yes | 09/2022 | Aug 26, 2022 | Oct 7, 2024 |
| RHYME, CHRISTOPHER, ENDRE | CHIEF EXECUTIVE OFFICER | E | yes | 08/2022 | Aug 26, 2022 | Oct 7, 2024 |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| n/a | n/a | n/a | 1 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Feb 25, 2026 | $400M | $391M | 5 | 4 | 1 | n/a | n/a |
| 2024 | Jan 20, 2025 | $339M | $329M | 5 | 4 | 1 | n/a | n/a |
| 2023 | Feb 5, 2024 | $287M | $279M | 5 | 4 | 0 | n/a | n/a |
| 2022 | Feb 9, 2023 | $241M | $239M | 5 | 4 | 0 | n/a | n/a |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 0 | 0 | 0 | 0.0% | 0 | 0 | 0 | 0 | 0 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $400M | $339M | 18.2% | $241M | 18.5% | 5 | 5 | 1 | 1 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC | 3 | Oct 5, 2022 | Oct 4, 2022 | DENVER, CO | Team lift out | Other | 0.2% |